New Rules

2016 New Rules

 

Webinar - What SEC-Registered Investment Advisers Need to Know About the New ERISA Fiduciary Rules

Tuesday, May 17, 2016
1:00 - 2:15 p.m. (ET)

Topics Covered

This webinar will discuss the recent changes to the ERISA rules on fiduciaries and how they may affect SEC-registered investment advisers in the following areas:

  • Will RFPs and Other Promotional Activities Trigger Fiduciary Status?
  • Will the Best Interest Contract Exemption Be Necessary for Investment Advisers?
  • Will Model Portfolio Providers, Mutual Fund Wholesalers and Referral Providers Be ERISA Fiduciaries?
  • How Will Changes to Prohibited Transaction Exemptions Affect My Operations?
  • Did the DOL Cover Active versus Passive Investments, Permissible Investments and Valuation Activities?
  • Other Questions

Presenters

  • Rob Sichel, Partner, K&L Gates LLP
  • Kristina Zanotti, Partner, K&L Gates LLP
  • Kathy D. Ireland, Associate General Counsel, IAA (Moderator)

Registration

Click the "Register" button on this page.

Live Recording Both
IAA Members and Associate Members $0 $0 $0
Non-Members $250* $250 $475*

*Per computer login

NOTE: The webinar is devoted to industry professionals. Press will not be permitted.

Have your Questions Addressed

To have your questions about the new ruling addressed during the webinar, submit them ahead of time to kathy.ireland@investmentadviser.org.

About the Presenters

Download to see image
Robert Sichel is a partner in the New York office of K&L Gates, where he is a member of the Investment Management practice group and oversees the ERISA Fiduciary practice. He has extensive experience helping financial institutions and corporate retirement plans navigate the complexities of ERISA, as well as issues under the Dodd-Frank Act that pertain to “special entities.” Prior to joining K&L Gates, Mr. Sichel held senior positions at several large financial institutions. In addition, he was an executive director in the legal department at a global financial services firm. He received his J.D. from Villanova University School of Law, an LL.M. from New York University School of Law, and his undergraduate degree from the College of New Jersey.
 
Download to see image Kristina M. Zanotti is a partner in the investment management practice group of K&L Gates, concentrating in the areas of employee benefits and derivatives transactions. Ms. Zanotti represents financial services clients in connection with swap and other derivatives transactions and in negotiating master agreements, including ISDAs, Master Repurchase Agreements, Master Securities Forward Transaction Agreements, futures agreements, cleared derivatives documentation, and related agreements. She received a J.D. from Yale Law School and a B.A. from the College of William and Mary.
Download to see image Kathy D. Ireland (moderator)is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA, Ms. Ireland acted as an independent consultant focusing on pension and securities issues. Previously, Ms. Ireland served as Associate Counsel and Senior Associate Counsel at the Investment Company Institute, representing the mutual fund industry in regulatory matters before the Department of Labor, the IRS, and the SEC. She received her B.S. degree, magna cum laude, from Lebanon Valley College, her law degree from the College of William & Mary, and an LL.M. in Labor Law from the George Washington University National Law Center.

Paid Registration Cancellation or Substitution

For paid registrations, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Friday, May 13, 2016. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.